Tag: mutual fund
Voya Escapes FINRA Fine for Self-Reporting Mutual Fund Share Overcharges
Voya Financial Partners dodged a possibly hefty fine after self-reporting to FINRA that it had sold higher sales load mutual fund shares to 143...
SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms...
The Securities and Exchange Commission has settled charges against 79 investment advisers that will return more than $125 million to clients, with a substantial...
Transamerica Entities to Pay $97 Million to Investors Over QI Model...
The Securities and Exchange Commission has charged four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million...
Phoenix American Hospitality Hires Regional Vice President of Sales for the...
Phoenix American Hospitality, a Dallas-based hotel fund manager, has hired Art Miller as its regional vice president of sales for the East Coast.
With more...
SEC Fines PNC, Securities America, and Geneos $15 Million for Share...
PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. have settled charges with the Securities and Exchange Commission for allegedly breaching...
SEC Fines Ameriprise for Overcharging Retirement Account Clients
The Securities and Exchange Commission announced that Ameriprise Financial Services has agreed to settle charges for recommending and selling higher-fee mutual fund shares to...
